AAC Platform Regulatory information


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AAC Platform Regulatory information

AAC Platform is a trading style of P1 Investment Management Ltd. P1 Investment Management Limited is authorised and regulated by the Financial Conduct Authority under registration number 752005. You can verify these details on the Financial Services Register. The information contained within the website is subject to the UK regulatory regime and is therefore targeted at customers in the UK. Treating Customers Fairly Treating our clients fairly is at the heart of our business. We always aim to always put our clients’ interests above our own and our approach is explained in our statement on Treating Customers Fairly, which is approved and endorsed by the main board of P1 Investment Management. Our Complaints Procedure We truly hope that you will be delighted by the service you receive from the AAC Platform, but explain how we will handle any complaints we receive in our Complaints Procedure document. We value all feedback in helping us to improve our service to clients.

You should address complaints to: Paul White Compliance Director P1 Investment Management Limited Senate Court Southernhay Gardens Exeter EX1 1NT Email: paulwhite@p1-im.co.uk Telephone: 01392 429683

If we are unable to resolve your complaint, you may be able to refer the matter to the Financial Ombudsman Service. The Financial Ombudsman Service is free to use and you can read more about the service they provide on The Financial Ombudsman website.

Client Identification

We have responsibilities to verify the identity and permanent address of our clients under UK anti-money laundering legislation. We use online verification systems, such as Smartsearch and Onfido to establish our clients’ identity, which uses information obtained from Credit Reference agencies and other trusted sources.

You can read further information about electronic searches here.

Conflicts of Interest

The AAC Platform has adopted the Conflicts of Interest policy of P1 Investment Management Ltd. P1 Investment Management is required by the Financial Conduct Authority to maintain a conflicts of interest policy identifying the circumstances that constitute or may give rise to a conflict of interest entailing a material risk of damage to the interests of one or more clients, and specifying the procedures that we follow and measures that we adopt in order to manage such conflicts.

You can read our Conflicts of Interest Policy and contact our Compliance Department if you have any questions.

Best Execution

It is in the interests of our clients and the platform provider P1 Investment Management Limited that we obtain the best possible result when placing orders with other firms for the execution of client orders or when transmitting orders on behalf of clients. We are required under the Rules of the Financial Conduct Authority to take all reasonable steps to provide Best Execution when carrying out transactions and have published our Best Execution Policy that we have adopted to achieve that objective.

Financial Resource Requirements

(Pillar 3 Disclosure) The platform provider P1 Investment Management publishes a Pillar 3 Disclosure Statement, in accordance with the UK Financial Conduct Authority (FCA) Prudential Sourcebook for Banks, Building Societies and Investment Firms (‘BIPRU’).

Remuneration Code Statement

The platform provider P1 Investment Management is subject to the BIPRU Remuneration Code. The Remuneration Code Statement provides further information on our remuneration policy.

Shareholder Rights Directive II

The Shareholder Rights Directive II (SRDII) is a European Union directive, which sets out to strengthen the position of shareholders and to ensure that decisions are made for the long-term stability of a company. P1 Investment Management Limited are required by this Directive to explain whether or not we have an engagement policy in relation to the companies we invest in, where the companies’ shares are admitted to trading on a regulated market. As the proportion of shares we hold in investee companies is much lower than those held by large institutional investors, we do not have the opportunity to engage with investee companies to the extent envisaged by SRD II. Accordingly, we do not have an engagement policy.

Platform Information

The AAC Platform is provided by P1 Investment Management. Important information regarding the Platform can be found here. P1 Investment Management is registered in England, registration number 09810560. Registered Office: Senate Court, Southernhay Gardens, Exeter, Devon, EX1 1NT. A list of directors is available for inspection at the Registered Office. VAT No. 231 9416 20

Company Information

The AAC brand, logo and trademarks used by AAC Platform under licence from Advanced Asset Consultants Limited, company registered in Scotland, registration number SC362302. Registered Office: 23 Newton Place, Glasgow, G3 7PY Advanced Asset Consultants Ltd is authorised and regulated by the Financial Conduct Authority FCA Registration No: 506551 A list of directors is available for inspection at the Registered Office.